On Wednesday, April 18, the SEC proposed a best-interest standard for broker-dealers. Under this proposed standard, broker-dealers and associated persons would be required to adhere to the best interest of the client and to develop policies and procedures to mitigate and disclose conflicts of interest. It would also prohibit BDs and associated persons from holding themselves out as advisors unless properly licensed. The public will have 90 days to comment.

Here at CreativeOne, we are analyzing the implications of this proposal to you and your practice, and will be releasing more information in the coming days.

DOL Fiduciary Rule struck down by 5th CircuitOn Thursday, March 15, the 5th Circuit Court of Appeals issued an opinion to vacate the Department of Labor’s Fiduciary Rule in its entirety. However, the Fiduciary Rule will remain in […]

Power 10: Power Up Your Sales
I know your time is valuable and when you’re working, you want to be focused on clients. But in order to drive sales, you need to think bigger and seek out new opportunities.
That’s […]

Don’t Get Left Behind – LEAVE BEHIND!So much time, energy and money can be spent simply getting in front of prospects as you work to grow your business. With that kind of initial investment, a face-to-face meeting with a […]

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The content of this site is offered to CreativeOne producers without additional charge due to their contracted status with CreativeOne . The information provided herein is the exclusive property of CreativeOne and is protected by copyright and other intellectual property laws of the United States. This material has been prepared for informational and educational purposes only. It is not intended to provide, and should not be relied upon for, accounting, legal, tax or investment advice. Broker-Dealer and Investment Advisor services provided by Client One Securities LLC, Member FINRA/SIPC. Client One Securities is a wholly owned subsidiary of CreativeOne.